4//SEC Filing
ENVESTNET, INC. 4
Accession 0001104659-17-037290
CIK 0001337619operating
Filed
Jun 1, 8:00 PM ET
Accepted
Jun 2, 6:00 PM ET
Size
21.1 KB
Accession
0001104659-17-037290
Insider Transaction Report
Form 4
Roame Charles
Director
Transactions
- Purchase
Common Stock
2017-05-31$35.38/sh+1,454$51,435→ 10,663 total(indirect: See Footnote) - Purchase
Common Stock
2017-05-31$35.38/sh+19$672→ 3,165 total(indirect: By LLC)
Holdings
- 1,729
Common Stock
- 2,913(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $55.29From: 2016-02-28Exp: 2025-02-28→ Common Stock (2,913 underlying) - 2,416(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $31.70From: 2018-03-28Exp: 2027-03-28→ Common Stock (2,416 underlying) - 1,463
Restricted Stock Units
Exp: 2018-02-28→ Common Stock (1,463 underlying) - 2,208
Restricted Stock Units
Exp: 2020-03-28→ Common Stock (2,208 underlying) - 375
Restricted Stock Units
Exp: 2019-02-28→ Common Stock (375 underlying) - 2,334(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $12.45From: 2013-02-28Exp: 2022-02-28→ Common Stock (2,334 underlying) - 8,116(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $15.34From: 2014-02-28Exp: 2023-02-28→ Common Stock (8,116 underlying) - 5,655(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $20.51From: 2017-02-28Exp: 2026-02-28→ Common Stock (5,655 underlying) - 3,506(indirect: See Footnote)
Director Stock Option (Right to Buy)
Exercise: $41.84From: 2015-02-28Exp: 2024-02-28→ Common Stock (3,506 underlying)
Footnotes (8)
- [F1]Represents shares held by a trust in which Mr. Roame is the trustee.
- [F2]Original option grant vests monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary of the grant as listed in the "Date Exercisable" column.
- [F3]Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock.
- [F4]Each restricted stock award represents the contingent right to receive one share of common stock upon vesting of the unit.
- [F5]This restricted stock award vests over a 3 year period, one third of the total amount vests on the first anniversary of the date of the grant of restricted stock; and then one-twelfth of the total amount vests on each three-month anniversary.
- [F6]This restricted stock award vests over a 3 year period, 40% of the total amount vests on the date of the grant of restricted stock; and then 30% of the total amount vests on February 28, 2017 and the remaining 30% vests on February 28, 2018.
- [F7]Mr. Roame is Managing Partner of Tiburon Strategic Advisors, LLC ("Tiburon"). As Managing Partner of Tiburon, Mr. Roame may be deemed to have voting and investment power over the shares owned by Tiburon. Mr. Roame disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
- [F8]This option grant vests over a 3-year period, one-third of the total amount vests on the first applicable date of grant and one-twelfth of the total amount vests on each three-month anniversary of the date of grant thereafter.
Documents
Issuer
ENVESTNET, INC.
CIK 0001337619
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001337619
Filing Metadata
- Form type
- 4
- Filed
- Jun 1, 8:00 PM ET
- Accepted
- Jun 2, 6:00 PM ET
- Size
- 21.1 KB